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Guidelines to EAD Best Practices (Version 3.1) May 2011

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Guidelines to EAD Best Practices (Version 3.1) May 2011 Arizona Archive Online Guidelines to EAD Best Practices (version 3.1) May 2011 Best Practices Working Group Todd Welch, Northern Arizona University (chair) Lauren Amundson, Lowell Observatory David Botts, Flagstaff Public Library Jonathan Pringle, Museum of Northern Arizona Arizona Archive Online 2011 Arizona Archives Online (AAO) Best Practices Table of Contents Page Purpose of Best Practices 3 Encoding schemes 3 Minimum Required Elements for Core AAO Finding Aid 5 Hidden Collections 6 Encoding Hierarchical vs. Flat Arrangement within the <dsc> element 7 Describing Archives: a Content Standard (DACS) 9 Order of elements 9 Nesting and Repeating elements 10 Filing Titles 10 Entering dates 11 Heading <head> elements (i.e. Labels) 12 Special character encoding 12 Punctuation and Empty elements 13 Special formatting of text: <emph> and <title> elements and the use of the RENDER attribute 13 Special formatting of text: <list> and <item> elements 14 Linking to digital objects and external content 15 Long guides 17 Validating and Creating well-formed guides 18 Naming, Saving, and Updating a finding aid file 17 Editing and Updating an existing finding aid file 19 Note on Using EAD Guideline Tables 19 Page 1 of 67 Arizona Archive Online 2011 EAD Guideline Tables Table 1: <eadheader> and <frontmatter> 21 Table 2: <archdesc> 26 Table 3: <dsc> 42 Table 4: Digital objects and external links 48 Appendix: Sample of finding aid based on AAO Best Practices 52 Bibliography 67 Page 2 of 67 Arizona Archive Online 2011 Purpose of Best Practices Ensure basic uniformity when encoding and submitting AAO finding aids Promote efficient uploading procedures to AAO web site Revise and realign best practices with other EAD consortium efforts Enhance access to archival descriptions for end users Encoding schemes Arizona Archives Online (AAO) contains descriptions for much of the archival materials held by member repositories within the state of Arizona—from single items and small collections to complex, multilevel collections. Given this fact and that repositories work with different collecting focuses and operating constraints, it is impractical and inefficient to describe the entire range of archival materials to the same degree. Some similar types of materials that comprise the entirety of a collection, such as the minutes of a single committee or diaries of an individual, can be described at the collection level (i.e. a container list <dsc> section may not be necessary). Other collections comprised of multiple homogeneous series, such as the outgoing correspondence of an administrator or minutes of a committee, can be described at the series or subseries level. Consequently, not all archival description needs to contain in-depth information to the folder or item level. Encoding Levels Basic The basic scheme is used for guides that reflect a single level or nonhierarchical descriptive output. It can be used for homogenous archival materials described at any level, including collections, record groups, fonds, record series, or subseries. The basic scheme can also be used for small or single-item collections or “hidden collections” not yet fully processed or not expected to be processed for some time. (See discussion on “Hidden Collections” below). Page 3 of 67 Arizona Archive Online 2011 Examples of collection where a Basic encoding level may be implemented: Small collections, including single-item collections Large homogeneous collections (e.g., the minutes of a committee, diaries of an individual) Collections not yet fully processed or not expected to be processed for some time. Although repositories are generally encouraged to describe materials as completely as possible, these collections may not warrant component descriptions or a detailed listing of files or items <dsc> (i.e. container listings). In the case of “Hidden Collections”, detailed descriptions to the file and item level may not be available. Full The full encoding level should be used for multilevel or hierarchical descriptive output. The <archdesc> description of archival materials can begin at any level, but most often multilevel description begins at the “collection” or general level to “series” “subseries” “file” (more specific) level. Most fully-processed collections will use the <dsc> section to provide a detailed listing of archival materials at the “series” level and, subsequently, the “file” level. Some archival descriptions may provide description to the “item” level, but often the “file” level will suffice. This encoding scheme does not require that each subdivision in the collection be described to the file or item level, but all repositories are strongly encouraged to describe archival materials as completely as possible. Examples of collections where a Full encoding level may be implemented: Records of a business, association, or organization Papers of a politician, civic leader, or family Record series of a political office or governmental agency Page 4 of 67 Arizona Archive Online 2011 Minimum Required Elements for Core AAO Finding Aid Below is an example of the elements that have the status Req in the AAO Best Practice Guidelines. This Core AAO Finding Aid provides for a basic level of description. This example is appropriate for in cases involving small collections or single items, larger homogenous collections, and hidden or unprocessed collections that will not be fully processed for some time. Other elements may be added where appropriate to provide additional information regarding the described materials. For more on submitting Hidden or unprocessed collections to the AAO web site (see Hidden Collections section). <ead> <eadheader> <eadid> <filedesc> <titlestmt> <titleproper> <date> <titleproper> [Filing Title] <publicationstmt> <publisher> <address> <addressline> <date> <profiledesc> <langusage> <language> <frontmatter> <titlepage> <titleproper> Page 5 of 67 Arizona Archive Online 2011 <date> <num> <publisher> <archdesc> <did> <unitid> <unittitle> <unitdate> <physdesc> <extent> <abstract> <langmaterial> <language> <repository> <corpname> </did> <scopecontent> <accessrestrict> Hidden Collections In an effort to provide and alert end users of all primary resources held by Arizona repositories, member institutions are developing standards for encoding unprocessed collections. Finding aids for unprocessed collections convey basic descriptive and administrative information to users to promote resource discovery, explain terms of access, and contact information for users to request access to these archival materials. The Description of Subordinate Components or container list <dsc> element is not required when describing an unprocessed collection. If creating a <dsc> with the finding aid, encoding the LEVEL attribute to "analyticover" and supply summaries of subdivisions of an unprocessed collection. Page 6 of 67 Arizona Archive Online 2011 Basic <archdesc> elements to be used when creating finding aids for a Hidden Collection include: <unitid>, <unittitle>, <unitdate>, <physdesc>, <abstract>, <repository>, <langmaterial>, <scopecontent>, and <accessrestrict>. In addition, nested elements for these elements should be used. Encoding Hierarchical vs. Flat Arrangement within the <dsc> element Within the Description of Subordinate Components or container list <dsc> element, EAD uses a system of numbered <c0x> component tags to capture the organization and description of a collection. There is no fixed correspondence between a component tag and the intellectual level -- a component tag is merely a wrapper used to encode nested, hierarchical arranged descriptions. There can be variance between a <c02> element within the same guide (i.e. it may serve to encode a file in one section of a container list and an item in another section). When providing a hierarchical description, use the <c01> down to the necessary <c0x> component to describe each unit. Always used numbered component elements. The LEVEL attribute with an allowable value is required to distinguish each unit. The LEVEL value must be one of the following: class, collection, file, fonds, item, otherlevel, recordgrp, series, subfonds, subgrp, subseries. The use of these encoding guidelines will facilitate indexing, style sheet rendering, and display of the finding aid data. If a collection has a "flat" arrangement, use <c01> tags to describe each unit. The LEVEL attribute with an allowable value is required to distinguish each unit. The LEVEL value must be one of the following: class, collection, file, fonds, item, otherlevel, recordgrp, series, subfonds, subgrp, subseries. Hierarchical arrangement <c01 level="series"> <did> <unitid>Series I</unitid> <unittitle>Re-election Records</unittitle> <unitdate>2008</unitdate> </did> <c02 level="subseries"> <did> <unittitle>Donor Correspondence</unittitle> <unitdate>October 2008</unitdate> Page 7 of 67 Arizona Archive Online 2011 </did> <c03 level="file"> <did> <container type="Box">1</container><container type="folder>1</container> <unittitle>Ohio donors</unittitle> </did> </c03> <c03 level="file"> <did> <container type="Box">1</container><container type="folder>2</container> <unittitle>Oklahoma donors</unittitle> </did> </c03> <c03 level="file"> <did> <container type="Box">1</container><container type="folder>3</container> <unittitle>Oregon donors</unittitle> </did> </c03> </c02 </c01> Flat arrangement <c01 level=”file”> <did> <container type="folder">1</container> <unitid>NAU.ARC.1996.5.1</unitid> <unittitle>Spring Football Camp</unittitle> <unitdate>1996</unitdate>
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